JUDSON ALAN SMITH is currently employed as a Broker and/or Investment Adviser at SA STONE WEALTH MANAGEMENT INC. located at 645 Whitestone Way, Hoover, AL, 35226.
JUDSON ALAN SMITH has worked at SA STONE WEALTH MANAGEMENT INC. since October 12, 2012
Disclosure History
JUDSON ALAN SMITH has 2 Disclosure Event(s).
Date: May 12, 2009 Category: Customer Dispute Allegations: COMPLAINANT ALLEGES THAT REP FAILED TO FOLLOW HIS DIRECTIONS AND LIQUIDATE HIS ACCOUNTS IN A TIMELY MANNER IN NOVEMBER OF 2008 RESULTING IN LOSS. Damage Amount Requested: $183,060.00 Settlement Amount: $69,908.00 Broker Comment: COMPROMISE SETTLEMENT WAS REACHED TO END CONTROVERSY.
Date: January 14, 2002 Category: Employment Separation After Allegations Firm Name: LEGG MASON Termination Type: Discharged Allegations: BROKE COMPANY POLICY REGARDING LOANING CUSTOMERS FUNDS.(THIS WAS NOT DUE TO TRADING ACTIVITY) Broker Comment: ON DECEMBER 28, 2001 LOANED CUSTOMERS FUNDS DUE TO LEGG MASON'S BACK OFFICE LOSING DEPOSITS (THIS WAS NOT RELATED TO TRADING ACTIVITY)
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